- NY CREATES (Albany, NY)
- …Compliance Specialist (GRC) is the organization's authoritative governance, risk, and compliance strategist and execution lead , responsible for maturing and ... posture, control effectiveness, vendor risk exposure, and audit readiness. Lead preparation for external assessments: CMMC Joint Surveillance , DIBCAC… more
- JPMorgan Chase (Jersey City, NJ)
- …**Required qualifications, capabilities, and skills** + Bachelor's Degree + 3+ years of Trade Surveillance or other compliance , regulatory, or related ... status quo, and striving to be best-in-class. As a Surveillance Lead Vice President within the North...President within the North America and Latin America Swaps Trade Surveillance team, you will play a… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a ** Lead Compliance Officer** in Corporate Risk as part ** Trade Surveillance Oversight** Team. This role will ... will:** + Provide oversight, monitoring and effective challenge of the front-line surveillance program in line with federal, state, agency, legal, regulatory and… more
- TD Bank (New York, NY)
- …regulatory compliance by developing and maintaining a comprehensive Trade Surveillance program, including identifying emerging risks, regulatory developments ... lead and key stakeholders to: maintain TDS' compliance surveillance framework; manage large surveillance...This position will focus on the trade surveillance portfolio and related initiatives. The VP Compliance… more
- TD Bank (New York, NY)
- …is looking for an Associate candidate (Senior Compliance Officer) to join the new Trade Surveillance team. Preferred 3-5 years of experience in trade ... of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and...in the discussion * Gain an understanding of new trade surveillance modules and surveillance … more
- Bank of America (Charlotte, NC)
- Compliance & Operational Risk Specialist - Trade Surveillance Charlotte, North Carolina, United States **To proceed with your application, you must be at ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Charlotte/ Compliance Operational-Risk-Specialist Trade - Surveillance \_25040545-2) **Job Description:**… more
- TD Bank (New York, NY)
- …mechanisms for senior management. + Stakeholder Engagement: Serve as primary contact to Trade Surveillance teams, CDO, Compliance Technology, and Front ... Compliance team is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This...will have deep expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at… more
- Capital One (New York, NY)
- …Manager (Broker-Dealer & Swap Dealer) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and enhance the firm's ... **Preferred Qualifications** + Advanced degree + 6+ years of trade surveillance , market regulation, or 6+ years compliance experience within a Broker-Dealer… more
- TD Bank (New York, NY)
- …This role requires experience within the financial services industry, specifically in compliance , trade surveillance and/or capital markets domains including ... languages, databases, and development frameworks. . Knowledge of financial industry trade surveillance , market abuse monitoring and/or global markets domain… more
- Citigroup (New York, NY)
- …Non-Financial Risk group and more specifically within Conduct Risk. Predominantly operating trade surveillance within the Spread Products business, but there ... enable growth and economic progress. **Team/Role Overview** This SP Trade Monitoring role sits in the First Line of...+ 5-10 years' experience in credit related middle office, surveillance , risk management and/or regulatory compliance in… more
- JPMorgan Chase (Jersey City, NJ)
- …through advanced data management and market surveillance . As a Data Owner Lead , you'll shape the future of data-driven compliance and operational resilience, ... collaborating with experts across technology, analytics, and compliance . Your leadership will ensure our data is a...firm's data and analytics journey. As a Data Owner Lead in the Market Surveillance (Transactions &… more
- JPMorgan Chase (Tampa, FL)
- …outside the box, challenging the status quo and striving to be best-in-class. As a Trade Surveillance Vice President on the Specialized Testing Team within the ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...and skills** + 3+ years of experience in a Trade or Trade Surveillance role.… more
- SMBC (Jersey City, NJ)
- … Department is seeking a highly skilled Executive Director, Head of Communications Surveillance to lead and enhance its communications surveillance framework ... regulatory changes and business needs, ensuring a robust and effective communications surveillance program. **Role Objectives** + Lead and manage the… more
- Bank of America (New York, NY)
- …lists, watch lists, global research reports, wall-crossings, MNPI (Material Non-Public Information), trade surveillance , and trade preclearance. + Supervise ... and drives actions to address the root causes that lead to compliance risk issues and/or operational...banking, capital markets, and research functions. + Familiarity with surveillance and compliance monitoring systems. **Skills:** +… more
- TD Bank (New York, NY)
- …across broker-dealers and swap dealers and draft relevant content + Act as a Compliance lead in relevant remediation projects, which will include: + conducting ... behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding… more
- CHS Inc. (Inver Grove Heights, MN)
- …will lead the development, governance and administration of trading compliance and new product risk management activities across the CHS enterprise (including ... but not limited to derivatives, physical commodities, trade and structured finance, and credit compliance ). This role is an essential component in risk control… more
- Serco (Virginia Beach, VA)
- **Position Description** Are you a **FST Network Lead ** looking for a challenging and rewarding position that leverages your technical experience with integrated ... team of highly skilled peers as a **FST Network Lead ** providing engineering and logistics support including dockside and...and repair of C4I systems and equipment for the Surveillance Towed Array Sensor System (SURTASS) on the Auxiliary… more
- SLAC National Accelerator Laboratory (Menlo Park, CA)
- …Subcontracts are awarded as a Firm Fixed Price. + Knowledge of market conditions, trade practices, sources and lead time. + Knowledge and experience with the ... Senior Procurement Specialist Team Lead (Construction) Job ID 6573 Location SLAC -...Department of Energy(DOE), and SLAC and stakeholder control and compliance requirements; advise management on procurement issues. + Develop… more
- ExxonMobil (Spring, TX)
- **About us** At ExxonMobil, our vision is to lead in energy innovations that advance modern living and a net-zero future. As one of the world's largest publicly ... in Our Team** Join ExxonMobil as a Regulatory & Compliance Advisor. Become part of a team responsible for...these policies * Propose and implement new monitoring and surveillance techniques based on changes to the business's trading… more
- JPMorgan Chase (New York, NY)
- …industry especially in Operational Risk Management, Anti-Money Laundering & Know Your Customer, Trade Surveillance model development + Experience with EKS or AKS ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...on business requirements and objectives. + Demonstrated ability to lead and manage the implementation of AI/ML models in… more
